Tuesday, March 29
All times are listed in Eastern Time
8:30 a.m. – 4:30 p.m. Registration and Cybersecurity Solutions & Cloud Computing Exhibitors
8:30 a.m. – 10:00 a.m.  
Request for TRACE Reporting Exemption Under FINRA Rule 6732
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products Offered By NYSE) to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure. Specifically, the proposed rule change would amend the General Standards, the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to increase arbitrator chairperson (“Chair”) honoraria.&
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds)
Dear Regulators,
I am Janakiraman Chandrasekaran, 59 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer
My first impression of this proposal is that it is a reaction to activities of individuals during the recent pandemic. Those who followed Wall Street Bets chasing meme stocks succumbed to, as Glenn Frey wrote in Smugglers Blues, "The lure of easy money is a very strong disease." As such the cure for such affliction would be better found with "Gamblers Anonymous"
